Head Of Legal &Compliance (Chinese leading Securities)

Responsibilities

Responsible for the effectiveness of legal & compliance function
Develop and implement policy and procedure to meet the internal compliance requirement and external regulatory requirements
Provide legal and regulatory advices to management and business units on current and new business initiatives for mitigating compliance risks
Draft, review and provide legal opinions on various legal documents and agreements
Develop compliance programs and conduct regular compliance / AML reviews
Design and conduct AML and other compliance related training
Liaise with local regulators, government authorities and external legal counsel

Requirements

Degree holder in Business Administration, Risk Management, Law or related disciplines
10-15 years of legal and compliance experience in securities
Strong knowledge and experience of compliance framework design and implementation
Strong communication and interpersonal skills
Sound knowledge of relevant laws, rules, codes and guidelines issued by SFC and other regulatory authorities
Strong interpersonal and communication skills to work with internal parties
Excellent command of English and Chinese

申請連結：

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